Senior Associate, Regulatory Support & Oversight


Date: Aug 1, 2019

Location: New York, NY, US

Company: New York Life Insurance Co


A career at New York Life offers many opportunities. To be part of a growing and successful business. To reach your full potential, whatever your specialty. Above all, to make a difference in the world by helping people achieve financial security. It’s a career journey you can be proud of, and you’ll find plenty of support along the way. Our development programs range from skill-building to management training, and we value our diverse and inclusive workplace where all voices can be heard. Recognized as one of Fortune’s World’s Most Admired Companies, New York Life is committed to improving local communities through a culture of employee giving and service, supported by our Foundation. It all adds up to a rewarding career at a company where doing right by our customers is part of who we are, as a mutual company without outside shareholders. We invite you to bring your talents to New York Life, so we can continue to help families and businesses “Be Good At Life.” To learn more, please visit LinkedIn, our Newsroom and the Careers page of


We are looking for new talent with expertise in regulatory compliance and risk management to join a dynamic team within a Registered Investment Adviser to perform First Line of Defense activities.  You will play an important role in helping to ensure that compliance, conduct and operational risks are understood, owned, and managed to the firm's risk appetite.  The primary responsibilities for this job include:


  • Act as compliance and operational risk control subject matter expert, supporting the Field, Home Office, and the Enterprise in managing the risks of the Registered Investment Adviser.
  • Ensure a current legal and regulatory risk framework is in place and that policies, procedures, program documents and disclosures are kept up to date and in line with the applicable framework.
  • Build out a comprehensive compliance risk assessment program and collaborate with other first and second line of defense functions to implement.
  • Provide senior leaders with a dashboard highlighting controls, tools, framework, information and insights necessary to manage risk for the business unit.



  • Bachelor's degree
  • 3-5 years total relevant experience
  • Experience with the Investment Advisers Act of 1940, Investment Company Act of 1940, related SEC rules, and the evolving regulatory environment. Familiarity with FINRA rules not required but would be a plus
  • Experience with creation, implementation and design of compliance programs within a business unit
  • Experience conducting compliance risk assessments and control validation testing
  • Data analytics expertise preferred
  • Analytical thinker who can provide practical and commercially minded solutions to mitigate risk
  • Intellectual rigor and curiosity is a must
  • Independent and self-directed professional
  • Minimum of 2 years of compliance experience with a broker-dealer, registered investment adviser, or financial services company




If you have difficulty using or interacting with any portions of this Web site due to incompatibility with an Assistive Technology, if you need the information in an alternative format, or if you have suggestions on how we can make this site more accessible, please contact us at: (212) 576-5811.

Job Segment: Social Media, Risk Management, Marketing, Finance